Department’s decision means that the list of IFEC directors as appeared on the company certificate only includes Mr. Suphanan, Mr. Chatnarong and Maj. Gen. Boonlert, the same as in the registration filing the
mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In case that the application for establishment and management of the mutual fund has
investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases
advertisement. Chapter 3 Rules for Advertising ------------------ Clause 8. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s
of interest. In the case where an executive holds a position required to work on a full-time basis, the executive shall take such position at only one securities company. Clause 3. In applying for
of interest. In the case where an executive holds a position required to work on a full- time basis, the executive shall take such position at only one securities company. Clause 3. In applying for
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In